Publications

Clear all
Filter results
Expand / Collapse
Select year
Select date
Filter by document type

About 2911 results.

  1. Final Notice 2017: Metallic Cars Ltd [pdf]

    Final notices Published: 23/10/2017
    Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit
  2. Final Notice 2017: Merrill Lynch International [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of PRIN 3 and Article 9 of EMIR relating to transaction reporting in the investment banking sector. We imposed a fine.
  3. Final Notice 2017: Adrian Whitehurst [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Adrian Whitehurst Conduct: Client money/assets; Lack of fitness/propriety Breaches: FIT Subject: Executive director Outcome: Prohibition Sector: Consumer Credit
  4. Final Notice 2017: Christine Whitehurst [pdf]

    Final notices Published: 23/10/2017
    This final notice refers to breaches of FIT related to client money/assets and lack of fitness/propriety in the consumer credit sector. We imposed a prohibition. Final Notice: Christine Whitehurst Conduct: Client money/assets; Lack of fitness/propriety Breaches: FIT Subject: Executive director Outcome: Prohibition Sector: Consumer Credit
  5. Final Notice 2017: Canwell Caravans Ltd [pdf]

    Final notices Published: 20/10/2017
    Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit
  6. Final Notice 2017: Phoenix Clinic Limited [pdf]

    Final notices Published: 20/10/2017
    Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit
  7. Final Notice 2017: J & N Motors Ltd [pdf]

    Final notices Published: 20/10/2017
    Conduct: Failing to be open and co-operative Breaches: PRIN 11 Subject: Firm Outcome: Cancellation Sector: Consumer Credit
  8. Final Notice: SOS Financial Services Limited [pdf]

    Final notices Published: 20/10/2017
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and co-operative in the consumer credit sector. We imposed a refusal
  9. Final Notice 2017: Lux Automotive Sales Ltd [pdf]

    Final notices Published: 20/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  10. Final Notice 2017: Southwater Cars [pdf]

    Final notices Published: 19/10/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and cooperative in the consumer credit sector. We imposed a cancellation.